A MAN OF TWO WORLDS: CLASSICAL AND JAZZ INFLUENCES IN NIKOLAI KAPUSTIN’S TWENTY-FOUR PRELUDES, OP. 53
By
Randall J. Creighton
Copyright © Randall J. Creighton 2009
A Document Submitted to the Faculty of the SCHOOL OF MUSIC
In Partial Fulfillment of the Requirements For the Degree of
DOCTOR OF MUSICAL ARTS In the Graduate College THE UNIVERSITY OF ARIZONA
THE UNIVERSITY OF ARIZONA ® GRADUATE COLLEGE
As members of the Final Examination Committee, we certify that we have read the document prepared by Randall J. Creighton entitled, “A Man of Two Worlds: Classical and Jazz Influences in Nikolai Kapustin’s Twenty-Four Preludes, Op. 53,” and
recommend that it be accepted as fulfilling the document requirement for the Degree of Doctor of Musical Arts.
Date: June 9, 2009 Rex Woods Date: June 9, 2009 Paula Fan Date: June 9, 2009 Lisa Zdechlik
Final approval and acceptance of this document is contingent upon the candidate’s submission of the final copy of the document to the Graduate College.
I hereby certify that I have read this document prepared under my direction and recommend that it be accepted as fulfilling the requirement.
Date: June 9, 2009 Document Director: Rex Woods
STATEMENT BY THE AUTHOR
This document has been submitted in partial fulfillment of the requirements for an advanced degree at the University of Arizona and is deposited in the University Library to be made available to borrowers under rules of the Library.
Brief quotations from this document are allowable without special permission, provided that accurate acknowledgement of source is made. Requests for permission for extended quotation from or reproduction of this manuscript in whole or in part may be granted by the copyright holder.
ACKNOWLEDGEMENTS
I would like to thank the members of my committee—Rex Woods, Paula Fan, and Lisa Zdechlik—for their help, not only with the lecture-recital and DMA document, but for all of their help during my degree program. Their support has been both invaluable and very much appreciated. Thanks also go to Pamela Decker for reviewing one of the difficult chapters.
DEDICATION
I would like to dedicate this document to Victoria Neve, my major professor during my master’s program at San Francisco State University, and Rex Woods, my major professor during my doctoral program at the University of Arizona. Your belief in my abilities has been a sustaining influence in my life—one that I hope to repay through my own relationships with students. Thanks also go to Keith Sklower, who awakened my musical interests at a time when I thought that the continual learning process of being a musician was, for me, a thing of the past. Finally, this document is dedicated to my parents, Andrew J. and Gloria P. Creighton for their unwavering support.
TABLE OF CONTENTS LIST OF EXAMPLES... 11 LIST OF TABLES... 21 LIST OF FIGURES ... 23 ABSTRACT... 24 CHAPTER 1: INTRODUCTION ... 26
CHAPTER 2: BACKGROUND INFORMATION ON NIKOLAI KAPUSTIN... 30
CHAPTER 3: THE PRELUDES IN CONTEXT ... 33
CHAPTER 4: STANDARD JAZZ TECHNIQUES ... 36
Jazz Harmonic Progressions ... 37
Chord Voicings ... 43
Boogie-woogie... 46
Stride... 50
Swing Eighths ... 54
Bent-note and Double-note Techniques ... 55
Walking Bass Lines ... 57
Rhythmic and Harmonic Anticipation... 59
Garner-style Chords... 59
Summary... 61
CHAPTER 5: MODERN JAZZ STYLISTIC TECHNIQUES ... 63
Quartal Harmony and sus Chords... 64
TABLE OF CONTENTS—Continued
Diminished Scales and Harmony... 68
Jazz-rock Straight-eighths... 70
Modal Jazz ... 72
Playing “outside the changes” ... 73
Summary... 78
CHAPTER 6: CLASSICAL TECHNIQUES, FORM, AND THEMATIC DEVELOPMENT ... 79
Organized Formal Structures ... 79
Varied Scoring ... 81
Thematic Tonality Changes ... 83
Free Motivic Development ... 84
Formal Development ... 87
Summary... 93
CHAPTER 7: NOTATION OF JAZZ STYLE, SWING RHYTHM, AND PERFORMANCE... 94
CHAPTER 8: TWO WORLDS COLLIDE ... 97
CHAPTER 9: TERNARY FORMS... 115
Prelude I in C major... 115
Prelude XII in G# minor ... 123
Prelude XV in D major... 126
TABLE OF CONTENTS—Continued
Prelude XXII in G minor ... 132
Prelude XXIV in D minor... 138
CHAPTER 10: RONDO FORMS ... 145
Prelude X in C# minor ... 145
Prelude XIX in E major... 153
Prelude XXIII in F major... 157
CHAPTER 11: SONG FORMS... 162
Prelude VII in A major ... 162
Prelude XI in B major... 167
Prelude XIII in G major... 170
Prelude XVII in A major ... 174
CHAPTER 12: MONOTHEMATIC FORMS... 178
Five Ballads ... 178
Prelude IV in E minor... 187
Prelude VI in B minor... 192
Prelude VIII in F minor ... 196
Prelude XIV in E minor... 199
Prelude XVIII in F minor... 203
CHAPTER 13: STANDARD JAZZ TECHNIQUES IN THE PRELUDES... 204
Jazz harmonic progressions ... 204
TABLE OF CONTENTS—Continued
Boogie-woogie... 217
Stride... 219
Swing Eighths ... 222
Bent-note and Double-note Techniques ... 222
Walking Bass Lines ... 225
Rhythmic and Harmonic Anticipation... 227
Garner-style Chords... 230
Summary... 232
CHAPTER 14: MODERN JAZZ TECHNIQUES IN THE PRELUDES ... 233
Quartal Harmony and sus Chords... 233
Pentatonics ... 242
Diminished Scales and Patterns... 245
Jazz-rock Straight-eighths... 249
Modal Jazz ... 256
Playing “outside of the changes” ... 257
Summary... 262
CHAPTER 15: FUSION, CROSSOVER, AND CATEGORIZATION ... 263
Classical with Jazz influences... 263
Jazz with classical influences ... 267
Crossover composers ... 270
TABLE OF CONTENTS—Continued
CHAPTER 16: SUMMARY AND CONCLUSION ... 274 APPENDIX: PERMISSIONS... 277 REFERENCES ... 278
LIST OF EXAMPLES
Example 4.1, Charlie Parker’s Confirmation, A section ... 37
Example 4.2, Thelonious Monk’s ‘Round Midnight, chromatic ii-V progression ... 38
Example 4.3, I-vi-ii-V turnarounds, I Got Rhythm, first four bars ... 39
Example 4.4, Substitutions and alterations in turnarounds... 39
Example 4.5, the ii°7 passing chord... 40
Example 4.6, The a i°7 chord complements and extends I ... 41
Example 4.7, Blues-based I64 progression with and without turnaround ... 41
Example 4.8, A turnaround with tritone substitutions ... 42
Example 4.9, II-I Cadence... 42
Example 4.10, V cadence ... 43
Example 4.11, George Shearing’s arrangement of How About You... 44
Example 4.12, Bill Evans arrangement of Who Can I Turn To... 45
Example 4.13, Waller’s Between the Devil and the Deep Blue Sea ... 47
Example 4.14, Fats Waller, Alligator Crawl ... 48
Example 4.15, Boogie with broken chords... 49
Example 4.16, Teddy Wilson’s Blue Moon arrangement ... 51
Example 4.17, Art Tatum’s Sunday arrangement... 53
Example 4.18, Oscar Peterson, The Smudge... 56
Example 4.19, Oscar Peterson, Blues Etude ... 57
Example 4.20, Walking bass line in a blues progression... 58
LIST OF EXAMPLES— Continued
Example 4.22, Garner’s Paris Bounce, B section... 61
Example 5.1, Matrix from Corea’s Now He Sings, Now He Sobs ... 65
Example 5.2, Sunday, Art Tatum, pentatonic run, measure 15 ... 67
Example 5.3, Diminished scale with sharp-ninth chords... 68
Example 5.4, Mark Harrison, Funk piano with quartal chords... 70
Example 5.5, Mark Harrison, Funk piano with flat-fifth blue notes... 71
Example 5.6, So What by Miles Davis ... 73
Example 5.7, There is No Greater Love, first to second chorus... 75
Example 5.8, There is No Greater Love, second chorus ... 77
Example 6.1, Rachmaninov Prelude Op. 23, No. 4, main theme, first version... 81
Example 6.2, Rachmaninov Prelude Op. 23, No. 4, main theme, second version ... 81
Example 6.3, Rachmaninov Prelude Op. 23, No. 4, main theme, third version... 82
Example 6.4, Liszt Valse Oubliée No. 1, first statement ... 83
Example 6.5, Liszt Valse Oubliée No. 1, second statement... 83
Example 6.6, Liszt Valse Oubliée No. 1, third statement ... 83
Example 6.7 Prelude in A minor, Op. 11 No. 2 by Scriabin ... 84
Example 6.8, Prelude in A minor, Op. 11 No. 2 by Scriabin, second statement ... 85
Example 6.9, Prelude in A minor, Op. 11 No. 2 by Scriabin, third statement... 86
Example 6.10, Beethoven Op. 10 #3, Theme A ... 88
Example 6.11, Beethoven Op. 10 #3, Theme C... 89
LIST OF EXAMPLES— Continued
Example 6.13, Beethoven Op. 10 #3, Theme E... 91
Example 6.14, Beethoven Op. 10 #3, Theme F and Closing A’... 92
Example 8.1, Prelude II, Theme I... 99
Example 8.2, Prelude II, Theme III... 99
Example 8.3, Prelude II, bars 1-4, Theme I, first occurrence... 100
Example 8.4, Prelude II, bars 5-8, Theme II, first occurrence ... 101
Example 8.5, Prelude II, bars 9-12, Theme I, second occurrence... 102
Example 8.6, Prelude II, bars 13-14, Theme III, first occurrence... 102
Example 8.7, Prelude II, bars 15-16, transition to first B section ... 103
Example 8.8, Prelude II, bars 17-24, B section, RH bent and double notes, LH walking bass... 104
Example 8.9, Prelude II, bars 25-28, Theme I, third occurrence ... 105
Example 8.10, Prelude II, bars 29-32, Theme III, second occurrence ... 106
Example 8.11, Prelude II, bar 35, Theme III, third occurrence... 106
Example 8.12, Prelude II, bars 37-40, Theme I, fourth occurrence ... 107
Example 8.13, Prelude II, bars 41-44, Motive II, second occurrence ... 107
Example 8.14, Prelude II, bars 40-44, Theme I, Fifth and final occurrence ... 108
Example 8.15, Prelude II, bars 49-51, Theme III, fourth occurrence... 109
Example 8.16, Prelude II, bars 66-72, Theme III, fifth and final occurrence ... 110
Example 8.17, Prelude II, Final cadence... 111
LIST OF EXAMPLES— Continued
Example 8.19, Prelude I ending, bars 65-67 ... 113
Example 9.1, Prelude I, A section ... 116
Example 9.2, Prelude I, Cadence at the end of A section ... 118
Example 9.3, Prelude I, Cadence at the end of the first B section ... 119
Example 9.4, Prelude I, Cadence at the end of the second B section... 120
Example 9.5, Prelude I, Retransition, bars 52-55... 121
Example 9.6, Prelude I, bars 13-16 ... 121
Example 9.7, Prelude I, Retransition, bars 56-57... 122
Example 9.8, Prelude I, Retransition, bars 58-60... 122
Example 9.9, Prelude XII, A section ... 124
Example 9.10, Prelude XII, B section... 125
Example 9.11, Prelude XV, A section... 127
Example 9.12, Prelude XV, B section... 128
Example 9.13, Prelude XVI, repeat of A section with new motive ... 130
Example 9.14, Prelude XVI, transition to B section ... 131
Example 9.15, Prelude XXI transition to Prelude XXII ... 133
Example 9.16, Prelude XXII, beginning ... 133
Example 9.17, Prelude XXII, beginning of the B section... 135
Example 9.18, Prelude XXII, A motive first appears in B section ... 136
Example 9.19, Prelude XXII, retransition from B to A with A motive ... 137
LIST OF EXAMPLES— Continued
Example 9.21, Prelude XXIV, opening pentatonic figure, bars 4-14... 140
Example 9.22, Prelude XXIV, B section three-hands technique... 141
Example 9.23, Prelude XXIV, bars 70-82, motive from Prelude I ... 142
Example 9.24, Prelude I, mirror image run ... 143
Example 9.25, Prelude XXIV, climax ... 144
Example 10.1, Prelude X, Theme I... 147
Example 10.2, Prelude X, Theme II ... 147
Example 10.3, Prelude X, Theme III ... 148
Example 10.4, Prelude X, Theme II developed, bars 15-16 ... 149
Example 10.5, Prelude X, Theme III transposed ... 150
Example 10.6, Prelude X, transition to first B section, bars 17-18... 150
Example 10.7, Prelude X, first B section, bars 19-22... 151
Example 10.8, Prelude X, Theme II final occurrence, bars 38-40... 152
Example 10.9, Prelude XIX, A section theme ... 154
Example 10.10, Prelude XIX, first B section ... 155
Example 10.11, Prelude XIX, coda... 156
Example 10.12, Prelude XXIII, A section theme... 158
Example 10.13, Prelude XXIII, B section... 159
Example 10.14, Prelude XXIII, C section... 160
Example 11.1, Prelude VII, Introductory chorus... 163
LIST OF EXAMPLES— Continued
Example 11.3, Prelude VII, third chorus, crossed-hands bass solo ... 165
Example 11.4, Prelude VII, B section... 166
Example 11.5, Prelude XI, bars 1-4... 168
Example 11.6, Prelude XI, climax in second chorus ... 169
Example 11.7, Prelude XI, final cadence basic progression... 170
Example 11.8, Prelude XI, final cadence progression as scored ... 170
Example 11.9, Prelude XIII, “head” section, second A, bars 13-18... 172
Example 11.10, Prelude XIII, “improv” section, same part of the form ... 173
Example 11.11, Prelude XVII, bars 8-16 ... 175
Example 11.12, Prelude XVII, B section ... 176
Example 12.1, Prelude III, A section and first few bars of A’ ... 179
Example 12.2, Prelude V, A section ... 181
Example 12.3, Prelude IX, beginning... 182
Example 12.4, Prelude IX, A’ section ... 183
Example 12.5, Prelude XX, A section... 184
Example 12.6, Prelude XX, A’ section ... 185
Example 12.7, Prelude XX, ending... 186
Example 12.8, Prelude IV, statements of the main motive... 188
Example 12.9, Prelude IV, first cadence and tonic vamp... 190
Example 12.10, Prelude IV, second cadence... 191
LIST OF EXAMPLES— Continued
Example 12.12, Prelude VI, Second section... 192
Example 12.13, Prelude VI, third section ... 193
Example 12.14, Prelude VI, fourth section... 194
Example 12.15, Prelude VI, fifth section... 194
Example 12.16, Prelude VIII, beginning ... 196
Example 12.17, Prelude VIII, antecedent motive developed... 197
Example 12.18, Prelude VIII, development of antecedent motive (bars 37-38 and 45-48) ... 198
Example 12.19, Prelude XIV, major second motive... 199
Example 12.20, Prelude XIV, main motive developed in middle section ... 200
Example 12.21, Prelude XIV, minor third motive in first section ... 200
Example 12.22, Prelude XIV, falling minor third motive in first section... 201
Example 12.23, comparison of motives from Preludes I, X, and XIV... 202
Example 13.1, Prelude XVII, bars 8-13 ... 205
Example 13.2, Prelude XIII, bars 13-20 ... 206
Example 13.3, Prelude XXIII, chromatic ii-V progression... 207
Example 13.4, Prelude XVII, bars 14-16, turnaround... 208
Example 13.5, Prelude IX, main theme with i°7 to I progression... 210
Example 13.6, Prelude XVII, A section uses blues-based I64 progression ... 211
Example 13.7, Prelude XIX, transition to A, IIM7 cadence... 212
LIST OF EXAMPLES— Continued
Example 13.9, Prelude XIII, first A section... 216
Example 13.10, Prelude II, Theme III, last version boogie influence... 217
Example 13.11, Prelude XXII, boogie in retransition... 218
Example 13.12, Prelude XXI, stride... 219
Example 13.13, Prelude XIII, stride in improvisation section... 220
Example 13.14, Prelude XVII, B section, stride ... 221
Example 13.15, Prelude II, B section, bent and double notes, LH walking bass... 223
Example 13.16, Prelude X, bent and double notes in Theme III ... 224
Example 13.17, Prelude XV, B section, walking bass ... 226
Example 13.18, Prelude IV, anticipations ... 227
Example 13.19, Prelude VIII anticipations... 228
Example 13.20, Prelude XVII anticipations... 229
Example 13.21, Prelude IV, closely-spaced Garner-style chords... 230
Example 13.22, Prelude XXIII, C section, widely-spaced Garner chords... 231
Example 14.1, Prelude III, quartal voicings ... 234
Example 14.2, Prelude VIII main motive scored in simple stacked thirds... 234
Example 14.3, Prelude VIII, Kapustin’s quartal scoring ... 235
Example 14.4, Prelude II transition to B section... 235
Example 14.5, Prelude I, B section quartal chords in bars 30-31 and 44-45 ... 236
Example 14.6, Prelude XIII, beginning ... 237
LIST OF EXAMPLES— Continued
Example 14.8, Prelude XIII, ending ... 237
Example 14.9, Prelude II, Theme III G sus... 239
Example 14.10, Prelude X, B section ... 239
Example 14.11, Prelude XXI ending on D sus ... 240
Example 14.12, Prelude XXII beginning on C sus ... 240
Example 14.13, Prelude XII, beginning, sus chords noted... 241
Example 14.14, Prelude I, B section, bars 26, 38-39 ... 242
Example 14.15, Prelude XXIV, pentatonic theme ascending and descending... 243
Example 14.16, Prelude XXIV, shifting pentatonics in middle section ... 244
Example 14.17, Prelude I, similar figures in bars 11-12, 34-35, 52-53 ... 246
Example 14.18, Prelude I, similar diminished patterns, bars 22, 47, 54 ... 247
Example 14.19, Prelude I, bars 56-57, diminished pattern transposed ... 248
Example 14.20, Prelude XIV, introduction... 249
Example 14.21, Prelude X, Theme I and II ... 250
Example 14.22, Prelude X, Theme I “normalized” to 4-4... 251
Example 14.23, Prelude X, final Theme II rhythmic displacement... 252
Example 14.24, Prelude XII, beginning... 253
Example 14.25, Prelude VII, introduction ... 254
Example 14.26, Prelude XXII, B section, two-handed funk... 255
Example 14.27, Prelude I, B section ... 257
LIST OF EXAMPLES— Continued
Example 14.29, Prelude XV, beginning of B section ... 260 Example 14.30, Prelude XXII, second B section ... 261
LIST OF TABLES
Table 4.1, History of Jazz and Jazz-influenced music... 36
Table 8.1, Prelude II form ... 98
Table 9.1, Prelude I form... 117
Table 9.2, Prelude XII form... 124
Table 9.3, Prelude XVI form... 132
Table 9.4, Prelude XXIV form ... 139
Table 10.1, Prelude X form... 146
Table 10.2, Prelude XIX form... 153
Table 10.3, Prelude XXIII form ... 157
Table 11.1, Prelude XIII form... 171
Table 11.2, Prelude XVII form ... 174
Table 12.1, Prelude XIV form ... 202
Table 12.2, Prelude XVIII Form ... 203
Table 13.1, Chromatic ii-V progressions... 207
Table 13.2, Turnarounds in The Preludes... 209
Table 13.3, I-iii progressions ... 209
Table 13.4, iii-ii progressions ... 210
Table 13.5, i°7 to I progressions... 210
Table 13.6, Tritone substitutions ... 212
Table 13.7, II-I Cadences ... 213
LIST OF TABLES— Continued
Table 13.9, Stride examples... 221 Table 13.10, Swing rhythm in The Preludes ... 222 Table 13.11, Bent notes and double notes ... 225 Table 13.12 Walking bass examples... 227 Table 13.13, Anticipation examples ... 230 Table 13.14, Garner-style chords... 232 Table 14.1, Quartal chords in The Preludes ... 239 Table 14.2, Sus chords in The Preludes... 241 Table 14.3, Pentatonic patterns in The Prelude ... 245 Table 14.4, Diminished patters in The Preludes... 248 Table 14.5, Modal influences... 256
LIST OF FIGURES
Figure 6.1, Beethoven Op. 10 #3, Theme A Rhythm ... 88 Figure 12.1, harmonic progression in Prelude VI... 195
ABSTRACT
Nikolai Kapustin was born in 1937 and has been active as a composer since the late 1950s, though he has only become relatively well known in the West since around 2000. Despite the fact that he has spent his whole life in Russia, Kapustin was strongly influenced by American jazz and his compositional style has always been a combination of the formal elements of classical music and the stylistic elements of jazz. Critics have all commented on Kapustin’s astute blend of classical form and jazz style, mentioning the influence of Russian composers Rachmaninov and Scriabin, while also noting echoes of Art Tatum, Oscar Peterson, and Chick Corea. The Twenty-Four Preludes, Op. 53 were published in 1988 and follow the key sequence set forth by the Chopin Preludes, Op. 28. These preludes are as virtuosic and ambitious as those of Chopin, Scriabin, and
Rachmaninov.
A close examination of the score of the Twenty-Four Preludes, Op. 53 reveals that Kapustin uses several methods of thematic organization, including variations of scoring, thematic transformation, and spinning out the germ of an idea in a more improvisatory way and that these techniques can be traced directly to the music of Rachmaninov, Scriabin, Liszt, and Beethoven. There are examples of ternary, rondo, and monothematic forms, and the ternary Preludes in particular contain elements similar to sonata-allegro form. Kapustin’s musical language is infused with the harmonic and rhythmic elements of jazz, with ample use of added note chords in sophisticated voicings. The echoes of various jazz artists are represented by his skilled use of pianistic
techniques like stride and walking bass along with a broad range of harmonic and rhythmic devices that span the stylistic range from Swing and Novelty piano, to Bebop and contemporary Jazz-rock. Though he is clearly familiar with standard jazz harmonic devices, he uses them sparingly, preferring instead to use modulation and developmental models that are grounded in classical music practice. From modern jazz, he takes quartal, pentatonic, and diminished harmony, along with highly chromatic two-voiced textures similar to those used by jazz artists from the 1960s onward, particularly Miles Davis.
CHAPTER 1: INTRODUCTION
Nikolai Kapustin has been active as a composer since the late 1950s though he has only become known in the West during the last decade. His scores are relatively difficult to obtain and costly, and his own recordings are available only through foreign sources.1 Two prominent pianists, Steven Osbourne and Marc-André Hamelin, have recorded all-Kapustin CDs and these recordings have generated most of the articles about Kapustin in western music magazines over the last few years.2 Most critics have
appropriately commented on Kapustin’s astute marriage of classical form with jazz style. This study seeks to quantify these claims through an analysis of his informed use of jazz style as well as his command of classical form. In this study, I will attempt to show, through stylistic and formal analysis, that Kapustin has combined a classical approach to composition with an authentic command of jazz styles in the Twenty-four Preludes, Opus 53. Kapustin’s assimilation of the stylistic language of jazz and its application to written composition presents interesting questions about stylistic boundaries, the notation and performance of jazz scores, and the musical similarities between jazz piano music and classical piano music. This study will explore these questions in relation to the Preludes and substantiate the observations others have made about his stylistic influences, while presenting a detailed analysis of his compositional style.
1 For information on recordings and scores, see www.nikolaikapustin.net. Recordings are available through HMV Japan and scores through Tutti UK. See Reference section for complete information.
2 Marc-André Hamelin, Nikolai Kapustin Piano Music, Hyperion CDA67433, 2004, and Steven Osborne,
Most observers who comment on Kapustin’s music focus on his combination of jazz harmonic and rhythmic language with classical form. Besides his ability to recreate the styles of Art Tatum, Oscar Peterson, and Erroll Garner, there is also a unique and sophisticated craftsmanship at work. Stuart Isacoff refers to the “organic cohesiveness of the compositions, the technical flair of a pianist/composer, … [and] the lyricism and adventurousness found in much early twentieth-century Russian music.”3 Other
composers have written music with a combination of jazz and classical influences, but it is possible that no one has combined the two in such an integrated way.4 In reference to his jazz influences, Jed Distler has said, “[h]e hasn’t merely appropriated but truly internalized the music’s stylistic and textural evolution from Scott Joplin to Keith
Jarrett.” 5 Though Distler, Isacoff, and others have written knowledgably about Kapustin and his music, these articles have appeared in liner notes and popular magazines like
Piano Today and International Piano. In the one existing scholarly paper on Kapustin to
date, Jonathan Mann states “…a jazz vernacular is presented in a contrapuntally dense framework of thematic organization, development, and restatement.”6 I agree with Isacoff that Kapustin’s work combines classical and jazz in a more integrated way than many others who have attempted such a syntheses and it is the author’s intention to corroborate this claim through detailed analysis. It is my intention to continue a scholarly discussion
3 Stuart Isacoff, “Marc-André Hamelin Plays the Wild and Jazzy Music of Nikolai Kapustin,” Piano Today 24, no. 4 (Fall 2004): 5.
4 Kirsten Joan Helgeland, “Jazz and the Classics: A study of American crossover piano works from 1920 to
1935” ( PhD diss., University of Cincinnati, 1999).
5 Jed Distler, notes to Nikolai Kapustin Piano Music, Hyperion CDA67433, 2004.
6 Jonathan Edward Mann, “Red, White, and Blue Notes: The Symbiotic Music of Nikolai Kapustin” (D.M.A. diss., University of Cincinnati, 2007):2.
of Kapustin’s work with the present study of stylistic and structural elements of the
Preludes with the hope that future scholars will continue to discuss, analyze, enjoy, and
disseminate the music of Kapustin.
The way that Kapustin uses the raw material of jazz recalls Bach’s use of contemporary dance forms and the use of folk music by many nineteenth and twentieth century composers.7 Just as Bach turned the vernacular dance styles of the era into art music, so Kapustin seems to have used the raw material of twentieth century jazz to create concert music that is modern, refreshing, pays homage to its jazz sources, and speaks to contemporary audiences in a unique way.
From the vantage point of the early twenty-first century, it seems that the world of art music is embracing a wide variety of musical styles as never before, and jazz-oriented music is one of the main influences. Contemporary classical performers are including transcriptions of Art Tatum, Bill Evans, and Fats Waller in their recordings and concert programs, and audiences seem curious if not eager to hear this music in a new context.8 These developments raise interesting questions about classification and context. They also tend to elucidate elements of jazz style—elements that, because they are truly based in an aural/oral tradition, defy notation and often befuddle performers who are not steeped in that tradition. Kapustin’s music fits nicely into this trend, presenting
performers with fully notated scores that require significant insight into jazz performance
7 Meredith Little and Natalie Jenne, Dance and the Music of J. S. Bach (Bloomington: Indiana University Press, 2001).
8 Recordings of Art Tatum’s music by Steven Mayer, Fats Waller’s music by Paul Posner, and Bill Evans’s music by Jean-Yves Thibaudet are current examples. See Bibliography for details on recordings.
practice. Only time will tell if this trend will continue to blur the boundaries of the great classical-jazz divide.
CHAPTER 2: BACKGROUND INFORMATION ON NIKOLAI KAPUSTIN
Nikolai Girshevich Kapustin was born in 1937 in Gorlovka in the Ukraine. He graduated in 1961 from the Moscow Conservatory, where he was a student of the famed pianist Alexander Goldenweiser (1875-1961). At the same time that he was immersed in classical literature, he began experimenting with jazz, making his debut at the Sixth International Festival of Youth and Students in Moscow in 1957 with his Concerto for piano and jazz orchestra, which is deemed his Opus One. After completing his studies, he served as pianist and arranger with Oleg Lundstrem’s Symphony Orchestra of Light Music (1961–1972), the Television and Radio Light Orchestra of Vadim Lyudvikovsky (1972–1977), and The State Cinematography Symphony Orchestra (1977–1984).9
Kapustin’s focus as a composer has always been a combination of jazz style fused with classical form, putting his work firmly in what was deemed “Third Stream” music by Gunther Schuller in 1957. He has composed works for large ensembles, including many concertos—for orchestra, for wind and string instruments, and six for piano. Chamber music includes duos, trios and larger ensembles of strings and winds with piano. Because he is an accomplished pianist, it is perhaps not surprising that Kapustin’s output for solo piano is large, including seventeen sonatas, the set of Twenty-Four
Preludes, a set of Preludes and Fugues in all 24 keys, and many other collections
including suites, etudes, and impromptus. His opus numbers now top 130.
9 A performance video of the Toccata, Op. 8 featuring Mr. Kapustin with Oleg Lundstrem is available at <http://www.youtube.com/watch?v=kUYiD7VGBXY>. Please note that this spelling is used in some references, including YouTube; others use the alternate spelling Lundstrom.
One might well ask how a young man living in the Soviet Union of the 1950s absorbed the influences of contemporary jazz performers so authentically. Though the Soviet regime took an antagonistic view of jazz in the early 1950s, Khrushchev’s reforms created a considerably more comfortable climate for jazz by the end of the decade. Willis Conover’s Radio Free Europe programs gave Russian jazz enthusiasts an opportunity to hear contemporary trends.10
While Kapustin’s interests were certainly not the norm for the Moscow
Conservatory, the fact that his music contains no improvisation and blends classical and jazz influences seems to have kept it safe from censure. As Kapustin explains, “I was entirely free; no problems. My music wasn’t avant-garde.”11 Both Kapustin and his experience with the Lundstrem group exemplify the hybrid nature of their endeavors. Judging from the video clips available on YouTube, Lundstrem’s music was presented in a manner suited to its pedigree; though there were sections of hard-swinging jazz, they looked and acted more like a classical orchestra than a jazz band. Black tie and tails and a classical manner of conducting created a familiar presentation that was both
non-confrontational and sophisticated.
Though Kapustin studied with Goldenweiser, apparently the association was more cordial than constructive. Speaking of Goldenweiser, Kapustin said “He was a very interesting person—he remembered Rachmaninov and Medtner, so it was very interesting to speak with him. But as a teacher he gave me nothing, because he was very old—he
10 Wendell Logan, “The Development of Jazz in the Former Soviet Union: An Interview with Victor Lebev,” Black Music Research Journal, Vol. 12, no. 2 (Autumn, 1992): 229-230.
was already 81.”12 Instead, it was Kapustin’s previous teacher whom he credits with advancing his skills. “I had another teacher, a great teacher, but nobody knows about him—Avrelian Rubakh. He was a student of Blumenfeld.”13
There is also an interesting link between Rubakh and the man who is considered Russia’s first jazz pianist, Alexander Tsfasman (1906-1971). Both Rubakh and Tsfasman studied with Felix Blumenfeld (1863-1931), and in the 1960s Tsfasman became a mentor to Kapustin. “We pianists liked Tsfasman for his elegance and easy-going style and his perfect finger technique…”14 Also, Blumenfeld, Tsfasman, and Kapustin are all
Ukranian.
Though his early experiences seemed to indicate a career as a virtuoso classical pianist, his path changed in his early twenties. “… at 20, 21, 22, I understood that jazz was very important. And I didn’t like performing; composing was more interesting.”15 A reserved and apprehensive interviewee, Kapustin’s rare interviews have supplied only limited information about his background. When asked in 2000 about his influences, he mentioned just one: Oscar Peterson, “He’s No. 1 for me.”16
12 Anderson, 94.
13 Ibid., 94. 14 Mann, 33. 15 Anderson, 94.
16 Harriet Smith, “Bridging the Divide,” International Piano Quarterly, Vol. 4, No. 13, (Autumn, 2000), 55.
CHAPTER 3: THE PRELUDES IN CONTEXT
The Twenty-Four Preludes, Op. 53 (hereinafter referred to as The Preludes) were published in 1988 and are unique in their relationship to other works in this genre. Kapustin follows the key sequence set forth by Chopin in his Op. 22 Preludes: all major and minor keys beginning with C major, traversing the circle of fifths with each major key followed by its relative minor. Though there are musical figures that reappear
throughout The Preludes, this does not seem to be an attempt to create structural integrity through repeated, unifying motives.
Composers began writing sets of preludes in the 17th century, and though these were often grouped by key sequence, composers have followed several distinct methods of organization.17 Though there were others before him, Bach established a method of chromatic organization with his two sets of twenty-four preludes and fugues in all keys, published as The Well-Tempered Clavier, Books I and II. Several composers have followed this organizational method, including twentieth-century composers York Bowen, Robert Cumming, Fernando Lopes-Graça, Niels Viggo Bentzon, and Henry Martin. Though influenced by Bach, Chopin chose to compose preludes without fugues and to organize his set around the circle of fifths. Chopin’s influence is easily as strong as Bach’s and many composers have followed his lead in organizing their own sets,
including Felix Blumenfeld, Ferrucio Busoni, Dmitri Kabalevsky, and Dmitri
17 Eric Gilbert Beuerman, “The Evolution of the Twenty-four Prelude Set for Piano” ( D. M. A. diss.,
Shostakovich. Robert Casadesus, Alexander Scriabin, and Rodion Shchedrin (preludes and fugues) also composed their sets with the same structure but with some enharmonic equivalents. Two of the most popular and influential twentieth-century prelude sets were by composers who did arrange them by key sequence. Serge Rachmaninov composed 24 preludes in all keys published in three collections over the course of his lifetime (Op. 2, 23, and 32), but did not group by key. Claude Debussy’s compositional method did not follow such strictly defined rules and his preludes were composed in two books of twelve pieces, but without any defined key relationships or tonal organization throughout the sets.
Though composers from many countries have contributed to the genre of
preludes, it is interesting to note that a large number of Russian composers have done so. This list includes Scriabin, Blumenfeld, Cui, Rachmaninov, Glière, Shostakovich,
Kabalevsky, Soulima Stravinsky, and Shchedrin. Kapustin has doubly contributed with his Twenty-Four Preludes, Op. 53 as well as the Twenty-Four Preludes and Fugues for
Piano, Op. 82. Kapustin’s organization of the Preludes and Fugues is interesting in that it
does not fall neatly into any of Beuerman’s classifications: major keys traverse the circle of fifths, while the minor ones that follow are a major third below. So the sequence begins C, g, F, c, etc.
The fashionable twentieth century idea of a composition as an inviolable whole does not apply to The Preludes. When asked whether they should be played as a cycle,
Kapustin responded, “Actually, no. I think they’re too long that way—pianists can play any part of it. It doesn’t matter.”18
I have selected The Preludes for this study because these short pieces, in contrast to the longer sonatas, more closely resemble the jazz models Kapustin emulates. A collection of twenty-four short pieces also invites a broad stylistic range within the scope of one collection, and Kapustin takes full advantage of the opportunity. Analyses of specific Preludes will illuminate the broad range of his stylistic references.
18 Harriet Smith, “Bridging the Divide,” International Piano Quarterly, Vol. 4, No. 13, (Autumn, 2000), 54-55.
CHAPTER 4: STANDARD JAZZ TECHNIQUES
Instead of merely assimilating clichés, Kapustin integrates jazz techniques into his own idiosyncratic but sophisticated musical language. A quick comparison with the music of other “crossover” composers in Chapter 15 will elucidate some differences of approach between Kapustin and other composers who have used jazz elements in their music. Chapters 4 and 5 will present detailed analyses of specific techniques found in The
Preludes, with sources ranging from boogie-woogie and stride, to jazz-rock and
avant-garde techniques. This chapter deals with standard jazz techniques—practices that were in place before 1960. The following chapter will cover developments in jazz after 1960. Chapters 13 and 14 will discuss these same techniques as they are applied in The
Preludes. 1890 1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 Ragtime Blues Tin-Pan Alley Early Jazz Novelty Piano Swing Bebop Hard-bop Cool/Modal/West Coast Free Jazz Jazz-rock Table 4.1, History of Jazz and Jazz-influenced music
Table 4.1 shows a brief timeline of the history of jazz styles. A simplistic look at the evolution of jazz might suggest that each successive style supplanted and improved upon its predecessor. By the turn of the twenty-first century, this view is generally
thought of as outdated. Just as contemporary classical music embraces many diverse styles, so does jazz. In 2009, it is possible to find communities of performers in every genre listed in the table above as well as new trends that are easy enough to distinguish but difficult to label.
Jazz Harmonic Progressions
By the late 1920s, jazz had become infused with the harmony of popular song forms from Vaudeville and Broadway and this influence formed the basis of jazz form and harmony until the 1950s. This standard jazz harmony is strongly tonal and the ii-V progression functions as its basic building block.
Example 4.1, Charlie Parker’s Confirmation, A section
The ii-V progression can both establish a key center and also serve as the engine for modulation. In a diatonic context, the progression leads to circle of fifths motion around a key center. In the Bebop era of innovation (circa 1944-1955), artists like Charlie Parker based their experiments on a superabundance of ii-V progressions to keep the harmony constantly moving. In Confirmation (ex. 4.1), ii-V progressions lead around the
circle of fifths in the key of F major. Considering just root movement, it is entirely diatonic, moving around the circle of fifths from vii until it returns to tonic. The
progression uses ii-V movement of mostly diatonic ii chords and secondary dominants. Exceptions are the C minor and F7 chords in bar 4, which are ii-V in the key of B, the subdominant. Also, before resolving to the diatonic ii chord of G minor, bar 7 uses G7, V of V, to prolong the phrase before a ii-V cadence in F.
Example 4.2, Thelonious Monk’s ‘Round Midnight, chromatic ii-V progression
The chromatic ii-V is another progression originating from the Bebop era that adds color and harmonic movement to a phrase. A chromatic ii-V progression is inserted into a diatonic setting, usually the ii-V a half step above the diatonic ii-V. While this is more likely to happen in improvisation choruses, Thelonious Monk’s ‘Round Midnight uses the progression in the A section of the song (ex. 4.2).
Example 4.3, I-vi-ii-V turnarounds, I Got Rhythm, first four bars
After ii-V, the most basic harmonic progression in jazz is I-vi-ii-V-I. It could be said that the repertoire that is commonly referred to as “jazz standards” is powered by this progression, one of the most basic and ubiquitous in tonal harmony. This and several other progressions can be classified as tonic prolongation, used to add color to music that would otherwise become dull and static. These progressions are also inserted into
cadences to push back to the beginning of the form of a song and for that reason are called “turnarounds.” There are countless songs in the standard repertoire that use this progression, and Gershwin’s I Got Rhythm is just one well-known example (ex. 4.3).
Example 4.4, Substitutions and alterations in turnarounds
Jazz performers use many alterations and substitutions to the chords of this
progression to keep it fresh. Some of the substitutions include using a iii chord in place of a I chord, and tritone substitutions, which will be covered below. Alterations mostly
involve changing minor chords into secondary dominants, so vi becomes V of ii, and ii becomes V of V. The progression in ex. 4.4 begins on iii and the vi and ii chords are changed from minor to dominant, becoming secondary dominants. The iii can also be converted into a dominant chord. Also notice that the alterations and added notes can be voiced in such a way as to create smooth chromatic voice leading.
Example 4.5, the ii°7 passing chord
Two more common progressions involve use of a ii°7 passing chord (ex. 4.5). The first is another sort of tonic prolongation that moves up from I to iii and is used in the well-known Duke Ellington song Don’t Get Around Much Anymore. The second
progression moves in the opposite direction and can either just move down from iii to ii or go completely back to I. This progression is used in the first bar of the Teddy Wilson example below (ex. 4.6).
Example 4.6, The a i°7 chord complements and extends I
Another common device that adds color to a tonic chord is to insert a i°7 chord into the phrase (ex. 4.6). Erroll Garner’s Misty is often played using this progression.
Example 4.7, Blues-based I64 progression with and without turnaround
While there are several varieties of twelve-bar blues progressions, the common denominator is a move to a IV chord in the fifth bar of the form and a return to I in bar 7. There are several variations to the last section of the form, though most contemporary jazz-oriented performers use ii-V progressions and turnarounds. A common Blues-based
progression includes V of IV and a I64 as a cadence or turnaround. Example 4.7 shows two versions of this progression.
Example 4.8, A turnaround with tritone substitutions
Tritone substitution chords are another staple of jazz keyboard harmony. A tritone substitution chord retains the tritone present in a seventh chord but substitutes the root a tritone away. For example, a G7 chord has the tritone B—F and so does a D7 chord, so D7 chord can be used as a tritone substitution for G7 and vice versa. In ex. 4.8, the second and fourth chords are tritone substitutions: the G7 for C7, and the F7 for a B7. Of course, there are other upper added notes to the chords and the last two use parallel motion.
Another type of dominant substitution is created by using a major 7th chord a half step above the tonic (II major 7th). It often uses parallel voicing and could also be considered an example of planing.
Example 4.10, V cadence
Finally, a V cadence is another popular progression often used as an introduction or tag ending to a song. As seen in ex. 4.10, it starts a tritone from the tonic and can either use circle of fifths movement or downward movement chromatically from a dominant chord using other tritone substitution chords along the way.
Chord Voicings
In most modern jazz, rarely do 7th chords provide enough resonance—most chords include further extensions of 9th, 11th, 13th, and chromatic alterations. In jazz theory, these extensions are often called “upper structures.” In order to create chords with these upper structures, either the chord must have a fuller texture or else some of the basic chord members are omitted. Often these chord voicings are spread between the
hands, and hardly ever voiced simply in stacked thirds. Chromatic inner voices and smooth voice leading are also markers of sophisticated jazz harmony.
Both George Shearing and Bill Evans were known for their “touch” or “sound” at the piano. There are two aspects to this concept of a jazz pianist’s sound. One is technical— the resources brought to bear in the physical aspect of playing piano, which is beyond the scope of this discussion. The other aspect is the pianist’s harmonic approach and the way he or she voices chords.
Example 4.11, George Shearing’s arrangement of How About You
This arrangement of the tune How About You by George Shearing (ex. 4.11) shows his chromatic approach to harmony. The song helps in this case, since it is an interesting
tune in G major that briefly modulates to the foreign key of B major. It does so simply by stepping down from G major to F7, the dominant of B major, in measure 4 above. It returns to G major through a circle of 5ths progression: B – E – Am7 – D7. This example is full of colorful passing chords and movement in tenths between the right and left hand parts along with ample upper extensions in chord voicings.
Example 4.12, Bill Evans arrangement of Who Can I Turn To
Bill Evans’s recordings from the late 1950s and 1980s have exerted an enormous influence on pianists ever since. His sophisticated harmony and chord voicings, which seem certainly to have been influenced by Ravel, bear witness to his classical
uses chromatic inner voices along with somewhat dissonant chord voicings to create a beautiful rendition of the song. 19 The cadence in the final bar uses a novel dominant substitution. Instead of a V chord, he uses a tritone substitution (E7) and precedes it with its ii, B min7. The right-hand part complements the progression with diminished
harmony, a topic in the next chapter.
Boogie-woogie
Boogie-woogie is defined by the New Grove Dictionary of Jazz as being “…characterized by the use of blues chord progressions combined with a forceful,
repetitive left-hand bass figure.” There are several standard boogie figures, but Kapustin tends to use them in ways that are similar to pianists who incorporate these figures as one element of their style, rather than those whose style is completely defined by their use.
19 Note some of the erroneous chord symbols that completely ignore the root of the chord. Some examples include Gm11 in bar 2, which is really an AM7 with a 13, the DM7 in bar 4, which is a Bm7, the E7, which is an A7 with 11, and the Gm9 in bar 6, which is a G sus that resolves to G7.
Example 4.13, Waller’s Between the Devil and the Deep Blue Sea
In ex. 4.13, Between the Devil and the Deep Blue Sea, Thomas “Fats” Waller uses a technique that later became a trademark of Count Basie: two voices that push the harmony and rhythm forward. Here the bass moves up chromatically from I to ii, then to V and back to I, with the chromatic note functioning as V of V. The tenor part repeats scale degrees 5-6-5 throughout.
Example 4.14, Fats Waller, Alligator Crawl
In ex. 4.4, Alligator Crawl, Waller uses the broken-octave boogie figure, here arpeggiating the tonic added-sixth chord. In measure 7, it switches to Stride—addressed below.
Example 4.15, Boogie with broken chords
Another type of boogie accompaniment figure is also used in blues and rock. In ex. 4.15, the upper two voices of each triad move up to the 7th then back to the triad. In a blues progression, it usually will appear in the same format on I, IV, and V chords, as in the example above.
Stride
Stride is a style of piano playing that grew directly out of ragtime and was the predominant approach for pianists wishing to imitate the rhythmic drive of a jazz ensemble in solo playing. In some stride piano, there is a constant swing back and forth between low bass and mid-range chord; others vary this rhythm. The use of tenths in stride is common and for some performers, an integral feature of their approach. Two examples will show aspects of the style.
Example 4.16, Teddy Wilson’s Blue Moon arrangement
Teddy Wilson’s arrangement of Blue Moon is a good example of harmonic expansion in early jazz, as well as the use of tenths in stride at a relaxed tempo. This arrangement is, for the most part, very diatonic and rhythmically straightforward, though
Wilson does alter the basic I-vi-ii-V-I pattern of the song, which is a standard 32-bar song form in AABA format. In the original version, the I-vi-ii-V-I pattern is repeated eight times in the span of the first two A sections. Wilson uses this progression only once, in measures 9-11. In place of this, he inserts a V of vi in measure four and this move to vi breaks up the monotony of the repeated progression. In addition, there is an unexpected chromatic sidestep in the last two bars of the first A, which normally would have a turnaround. In measures 7-8, Wilson alters the basic pattern of chromatic tenths used in measures 1-2, placing the G and B in bar 8 in the “wrong” place—the downbeat. This creates a harmonic displacement and a sidestep from C7 to C7 to B7, so possibly an example of planing. The C7 is a tritone substitution for F7. It is also noteworthy that Wilson’s chord voicings rarely go beyond the 7th.
Example 4.17, Art Tatum’s Sunday arrangement
Art Tatum’s Sunday arrangement is much more complex harmonically and rhythmically, with use of extended structures in chord voicings, chromatic alterations of chords and melodies, and complex rhythmic displacement within the context of a relaxed
stride technique. While Wilson used tenths to create resonance and a fuller texture, Tatum goes further by often turning the upper note of the pair into a tenor counterpoint line, with elements of voice leading pushing the harmonic progression forward. One of the most striking things in this arrangement is the way that Tatum temporarily leaves the key center in the break between the A sections—the same place in the form that Wilson performed a little sidestep. In measures 7 and 8 there would normally be a I-vi-ii-V-I turn-around; instead Tatum uses an out-of-context circle-of-fifths harmonic progression: C–A–D–G with a sidestep up to the dominant G7 in the third beat of bar 8 to return to C major.
Swing Eighths
By the late 1920s, a rhythmic style that sounds contemporary by current standards had been established. That rhythm is generally referred to as swing or swing eighths, an uneven triplet-based subdivision of the quarter note. It is a ubiquitous sound, easy to identify yet difficult for many to master. Sometimes swing eighths are notated as eighth-note triplets with a tie between the first two eighth-notes. Other times, duple-based eighth eighth-notes are accompanied with an indication to swing the rhythm. Swing eighths and syncopation are an integral part of many jazz styles from the 1920s to the present.
Syncopation has been a part of jazz from the beginning, but the type of rhythm that was a product of the Bebop revolution of the 1940s was decidedly different from the relaxed swing era syncopation that preceded it. Though it is still triplet-based, there is more duple division of the beat than existed in the Swing Era, partly because of the faster
tempos and faster runs. As the tempo increases, the distinction between triplet-based swing rhythm and straight-eighths becomes less and less apparent. Three elements specific to Bebop rhythm have become part of standard jazz rhythmic practice: very fast tempos, triplets alternating with duple rhythm, and strong accents at the ends of phrases, often on the last sixteenth note. This type of syncopation is sometimes an anticipation, which will be discussed below. Performance aspects of swing-eighths will be discussed in Chapter 7. Kapustin makes ample use of syncopation and swing-eighths, though less than half of The Preludes use this type of rhythmic approach.
Bent-note and Double-note Techniques
Jazz and jazz-rock use bent-note and double note techniques that originated from vocal and guitar-based blues forms. Since both the voice and the guitar can bend pitches, it is a natural means of expression and is an American interpretation of African musical practice. The piano can only simulate the effect by using crushed notes, usually the blue notes of flat third and fifth, which are very effective at giving a funky blues feeling.20 Oscar Peterson was a master at using these techniques and two examples will illuminate their use.
20 The New Harvard Dictionary of Music defines funky as “Earthy, sexual, danceable, gospel-influenced.” The Oxford Companion to Music online says funk is “a musical style derived from Rhythm and Blues and Soul, characterized by repeated rhythmic figures and a strong bass line.”
Example 4.18, Oscar Peterson, The Smudge
The Smudge is a blues piece in E written by Peterson. This example is from the
tenth chorus of his improvisation and shows both bent notes and double notes. These bent-notes are all G, the blue third, or D, the blue seventh. Peterson insistently repeats
these notes despite the changing harmony, creating effective dissonance that must be resolved.
Example 4.19, Oscar Peterson, Blues Etude
Two bars from Blues Etude, another blues piece written by Peterson, will demonstrate double notes. The added notes are always chord tones and add texture and resonance to a single-note melodic line.
Walking Bass Lines
Walking bass developed in the swing era and has continued to be a primary component of any jazz ensemble. Pianists can also benefit from occasionally simulating the effect of an upright bass with its unique ability to keep both rhythm and harmony moving forward. Effective walking bass lines have the following characteristics:
Mostly step-wise motion in quarter notes Strong chord tones (goal notes) on downbeats
Approach notes, usually a half-step above or below a goal note Arpeggiation, eighth notes, and triplets to provide accents
Example 4.20 shows a walking bass line in a blues progression with chromatic approach notes that push to important chord tones, especially on downbeats.
Rhythmic and Harmonic Anticipation
The use of syncopation in jazz is widely understood, though another common device, anticipation, is perhaps not so well documented. Anticipation is a technique used in broad range of jazz styles to heighten rhythmic vitality. Simply put, playing a chord just ahead of its anticipated appearance enhances the effect of syncopation. Jazz artists as diverse as Art Tatum, Bill Evans, and Chick Corea all use anticipation. There are
anticipations in some of the examples above. In Teddy Wilson’s Blue Moon (ex. 4.16), he consistently places chords in the right-hand part an eighth or sixteenth beat ahead of their anticipated appearance, coming ahead of the left-hand harmony. In fact, the arrangement starts with this technique and it is repeated in measures 2-3, 4-5, 8-9, 10-11, 14-15, and 15-16. There are fewer instances in Art Tatum’s Sunday, ex. 4.17, but it is used in bars 2, 4, 10, and 14. In Peterson’s The Smudge (ex. 4.18), there is anticipation in measures 4-5, 6-7, and 11. The device is also present in two examples of Herbie Hancock and Chick Corea to come.
Garner-style Chords
Like most of the influential jazz performers of the twentieth century, Erroll Garner developed his own distinctive and instantly recognizable approach to jazz piano.
Garner’s style combines elements of Swing and Bebop, and is both uniquely his own and at the same time often emulated.
The most characteristic element of Garner’s style is repeated left-hand chords, not unlike the strumming of a big-band guitarist serving up a steady beat in support of a soloist. In the same manner, repeated left-hand chords on the piano create a propulsive and steady rhythmic backdrop for syncopated right-hand improvisation. Garner would often add occasional offbeat syncopated kicks in the left hand. This is such a strong stylistic marker, that it is hard to play repeated left-hand chords in a jazz style without evoking Garner.
Example 4.22, Garner’s Paris Bounce, B section
In ex. 4.21, the A section of Garner’s Paris Bounce, steady left-hand chords play against a syncopated right-hand melody. Example 4.22 is the bridge of the same song— an example of Garner injecting syncopations into the left-hand part in measures 2 and 6. This example is an original piece in a published arrangement. In performance, Garner would often take advantage of his large span and play these chords in tenths, thereby putting the bass notes lower in the range of the instrument. The result is a fuller sound and even more of a rhythmic kick from the left hand.
Summary
The stylistic language of jazz developed quickly from around 1920 until the 1950s, with each subsequent generation extending its range until a fairly stable approach
to rhythm and harmony had been achieved. Though innovation continued and styles developed from Swing to Bebop, and on to Cool and Post-bop, by the late 1950s jazz had achieved something akin to the stylistic stability of common practice tonality in classical music. In the late 1950s, this began to change with the inclusion of rock and 20th century classical elements influencing new directions in jazz.
CHAPTER 5: MODERN JAZZ STYLISTIC TECHNIQUES
The history of harmonic practice in jazz can be viewed as a continuum of steadily increasing complexity from its inception at the beginning of the twentieth century until the early 1960s when Free Jazz experiments were underway. What had taken 200 years in Western art music had taken roughly 50 years in jazz: a development from basic diatonic structure to one of extreme chromaticism. Many performers from the 1950s onward began experimenting with “playing outside the changes,” an approach that expands harmonic complexity by venturing freely outside of key centers. The Art Tatum example shows an early step in this process by substituting chords outside the tonality for the turnaround (see Sunday, ex. 4.17 in Chapter 4). Many jazz artists, including Ornette Coleman, Miles Davis, and Gerry Mulligan, achieved greater harmonic freedom by reducing the texture either by eliminating homophonic instruments like piano and guitar, or limiting what they played to occasional chords and monophonic solo lines. In this context, the absence of chords de-emphasizes harmony, allowing contrapuntal freedom between the bass line and solo improvisations on top of it. Because a chordal instrument is not creating a defined harmonic structure, tonality is more ambiguous and open to interpretation and variation. Musicians have used different devices to develop and structure this leaner, more linear music, for example, using patterns and pentatonics as well as diminished and quartal harmony. Since all of these methods exist in the most dissonant passages in Kapustin’s music, this provides a strong link to modern jazz. These
influences will be apparent in the analysis of the B sections of Prelude I and Prelude
XXII in chapters 12 and 14.
Quartal Harmony and sus Chords
Quartal Harmony uses the interval of the fourth as a basic building block instead of
the more typical third. In jazz, quartal harmony became popular in the 1960s with pianists McCoy Tyner, Herbie Hancock, and Chick Corea, among others. Corea’s 1968 album
Now He Sings, Now He Sobs is an almost single-minded exploration of quartal harmony.
Example 5.1 below, the tune Matrix, will illuminate the use of quartal harmony and sus chords. Sus Chords are suspensions, used in jazz to effect harmonic ambiguity (the fourth does not resolve to the third), and are often derived from, and used with, quartal
Matrix is an original tune by Corea that is loosely structured on a twelve-bar
blues, and this example shows the first three and a half choruses of improvisation. With two exceptions, every left-hand chord is quartal in nature, using two types of quartal-based chords. One is purely quartal, consisting of three notes separated by fourths. The second type is quartal in nature but includes a tritone between the lower two intervals (it is often written as an enharmonically diminished fifth instead of an augmented fourth). This chord is dominant in nature, as it is typically used as an upper-structure chord containing the flat-seventh, third, and thirteenth. For example, the chords in the second line, bars 8-10, would be B7, B7, and A7. Also note that these chords can assume their alternate identities as tritone substitutions, becoming F7, E7, and E7. The many
instances of the chord F-B-E are examples of tonic sus chords as there is no third in the chord and the B never resolves down to the A. Although there are many patterns in the right-hand part that could be construed as being quartal, a more accurate explanation is that they implement another common jazz harmonic device—pentatonics. The other key element in this example is the frequent use of blue notes, minor third, flat-fifth, and minor seventh.
Pentatonics
Art Tatum was among the first jazz pianists to use pentatonic scales and runs in the 1930s, and jazz musicians have employed pentatonic techniques ever since. In this context, these techniques fit nicely with standard diatonic, tertian harmony. However, in the 1960s when jazz musicians were experimenting with quartal harmony, pentatonics
were used more chromatically than diatonically, with the three pianists already mentioned, Tyner, Hancock, and Corea, as primary exponents. When pentatonics are used chromatically, they create a rich, complex sound and allow the improviser to step outside of the key area while maintaining a motivic relationship to the home key. The previous examples from Waller, Wilson, Tatum, and Corea will illuminate tertian and quartal uses of pentatonic scales.
Example 5.2, Sunday, Art Tatum, pentatonic run, measure 15
A pentatonic scale based on the tonic will use the scale degrees 1-2-3-5-6, which together creates a chord with the second (or ninth) and the sixth in addition to the tonic triad. It is a very pleasing, harmonious sound, and one that early jazz innovators quickly adopted. In Waller’s arrangement of Between the Devil and the Deep Blue Sea, the right-hand figure of the four-bar introduction uses a pentatonic scale in F, the tonic (ex. 4.13). In measure 11 of the Tatum arrangement of Sunday, he uses an F pentatonic scale over a D minor chord (this is also thought of as being a D minor pentatonic), and a C major pentatonic run in measure 15 (ex. 5.2).
In a more modern context, pentatonic scales are used chromatically, often in brief patterns that move up or down by half step or whole step. While these patterns have an
unmistakable pentatonic flavor, it is often impossible to identify the key relationships of these patterns. There are several of these distinctive chromatic pentatonic patterns in measures 15-17 and 19-20 of Corea’s Matrix. In measures 15-16, a B pentatonic is
arpeggiated down, with a quick sidestep up to resolve to a B pentatonic in measure 17. A short pentatonic pattern in measures 19-20 steps down chromatically, E-D-B-A | E-D-B-A| D-C-A-G. This type of pentatonic harmony is more fluid and, instead of
reinforcing the tonal center like the earlier examples, is used instead to render tonality more ambiguous.
Diminished Scales and Harmony
Example 5.3, Diminished scale with sharp-ninth chords
Diminished seventh chords have been used since at least the Classical era to provide color and drama in tonal music. The diminished seventh occurs naturally on the raised seventh scale degree in minor keys and is often borrowed for use in major keys, where it provides both dramatic color and a flexible way to modulate. Since it is symmetrical, a single diminished seventh chord can lead to four different destinations. For example, B-D-F-A can resolve to C, E, G, or A. Since it is comprised of minor thirds, there are only three different diminished seventh chords before inversions begin.
While the diminished seventh chord was used as far back as the Classical Era, the diminished scale did not become widely used until late in the late nineteenth century. Like the diminished chord, the diminished scale is symmetrical, an eight-note (octotonic) collection of alternating whole and half steps, or half and whole steps.21 As Stefan Koska states, “The octotonic scale is a rich source of melodic and harmonic material. It contains all of the intervals, from minor 2nd up to major 7th. All of the tertian triads except for the augmented triad can be extracted from this scale, as can four of the five common 7th- chord types (the major-7th cannot).22
Diminished scales and patterns derived from them are now part of modern jazz harmonic vocabulary and are used primarily to complement altered dominant chords. For example, a half-whole diminished scale over a G7 chord will include most of the
common extensions and alterations: 9, 11, and 13. Another common hybrid scale, the diminished-whole tone, is usually implied by the “alt” chord symbol. This scale includes a 9, both major and minor thirds (also referred to as a 9), and a 5. It starts out like a half-whole diminished scale and ends like a whole-tone scale. A diminished-whole tone scale in C would be C, D, E, E, G, A, B. Its use can be more clearly seen in the Herbie Hancock example, the D7 alt in bar 49 (ex. 5.7 and 5.8).
Diminished scale patterns are present in the Chick Corea’s Matrix above (ex. 5.1). In the Herbie Hancock examples below, he uses diminished scale patterns in the first
21 There are two types of diminished scale. One alternates a half step-whole step pattern, the other
alternates whole-step-half step pattern. A half-whole diminished scale on C includes C, D, E, E, G, G, A, B. A whole-half diminished scale on C would include C, D, E, F, G, A, A, B.
22 Stefan Koska, Materials and Techniques of Twentieth-Century Music, (Upper Saddle River: Pearson Prentice Hall, 2006), 32.
